ESRC-SWDTC collaborative studentships, facilitated by

GWR

Eligibility and Application Guidelines

October 2011

Table of Contents

Introduction and context

Aims of the initiative

Eligibility and Commitments Research Focus SWDTC Pathways and External Partners Students External Partner, Funding and involvement

Application Process

Submitting a full applicationMethod of submissionGeneral guidance Host Institution The Research project Submitting more than one applicationQuestion-specific guidanceResubmission of an applicationConfidentiality and use of the information suppliedApplication deadlines

Application Assessment and Award ProcessAssessment criteriaAward announcementMonitoringComplaints procedure

Appendix 1: Data Protection

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Introduction and context

1. These guidelines describe doctoral level funding for collaborative projects available through the ESRC-SWDTC facilitated by Great Western Research. It contains details of the Studentship scheme including aims, eligibility criteria, details of how best to apply, the evaluation process and procedures, and expected timing.

2. Higher level skills have an important role to play in the economy and the role of higher education in the transformation of the UK economy is recognised by the research councils as being important in this, hence these collaborative awards.

3. A total of up to 16 PhD collaborative Studentships will be available each year from 2012, each co-funded by the ESRC-SWDTC and one or more External Partners (see point 4) , and managed by GWR, providing full funding for PhD level research programs.

4. Two types of studentships will be offered, each of which will require an External funding Partner who agrees to co-fund the project. Single Discipline Pathways will involve a single SWDTC supervisor, whilst projects proposed for the Interdisciplinary Pathways must involve 2 SWDTC partners at different institutions working together with an External Partner (External Partner in this context includes businesses, not for profit organisations, Public Sector Research Establishments, such as the NHS Trusts, charities, cultural bodies, museums, archives, NGOs and social enterprises). Applications for both types of studentships will be equally welcomed.

5. You are strongly advised to read this document, in full, prior to submitting an application. GWR will operate a 2 stage application process, with initial outline applications being subsequently developed into full detailed applications for consideration for funding.

6. GWR has previously been involved in over 170 PhD level projects across the South West in collaboration with the South West Regional Development Agency and the European Social Fund, and 20 research Fellowships, in collaboration with HEFCE. Details of the projects we have previously funded may be found on the GWR website : http://www.greatwesternresearch.ac.uk

Aims of the initiative

7. These ESRC collaborative studentships facilitated by Great Western Research aim to build a strong cadre of research students and staff and to ensure the sustainability of internationally-excellent research in South-West England.

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8. The funded research projects will also encourage growth in business funded R&D in the South West. The provision of research studentships is seen as an effective way to catalyse research partnerships between University research groups and external partner organisations.

9. The collaborative research projects will be of the highest quality and standards that will lead to significant advances in the area of research, and be of interest and value to the wider research community.

10. Great Western Research and the SWDTC will make awards only where the proposed research meets the aims of the scheme and is considered to be of high quality.

Eligibility and Commitments

11. Great Western Research will make an individual assessment of the basic eligibility of all applications. All applications must fulfil the essential criteria below, or they will be considered ineligible.

Research focus

12. Applications must be clearly focussed in the areas supported by the ESRC funded SWDTC to be considered for funding.

The SWDTC Pathways, and External Partners

13. All studentships must be offered as a true collaboration between an SWDTC academic supervisor and an External Partner.

14. The lead academic supervisor, ie where the student is registered for the PhD, must be based at an SWDTC partner institution, and have a contract of employment that extends beyond the proposed end date of the studentship.

15. For the interdisciplinary pathways, joint supervision by at least two SWDTC academic supervisors is required. These interdisciplinary pathway applications must also include a clear description of how the proposed joint academic supervision will work.

Students

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16. International Students are eligible to be appointed to these studentships, however, the studentship fees contribution is fixed by ESRC and academic applicants will need to arrange to cover any additional fees from other sources.

17. Students must meet the normal minimum criteria applied by the SWDTC and the host institution for registration for the degree of PhD.

External Partners, Funding and involvement

18. All studentships applications must include an External non-university Partner. In the context of these studentships, the term External Partner includes businesses, not for profit organisations, Public Sector Research Establishments, such as the NHS Trusts, charities, cultural bodies, museums, archives, NGOs and social enterprises, all of whom are equally eligible . The External Partner may be based anywhere in the UK, or potentially abroad by prior agreement with GWR and the SWDTC.

19. The External Partner or a group/cluster of External Partners should be actively involved in developing the research proposal. There is an expectation the External Partner will be actively involved in the research, regularly taking part in meetings with academic supervisors and providing support to the researchers. The External Partner also needs to provide a plan for how the knowledge resulting from the research will be exploited and the benefits that the research will bring to them.

20. External Partners must contribute to the cost of the studentship and will be required to enter into a contractual arrangement which clearly specifies their commitment in terms of finance, time and resources. If necessary, this contract will also cover intellectual property issues that may arise from the research.

21. Normally the External Partner’s contribution to the cost of a 3 year collaborative studentship is expected to be £11,036 pa, i.e.£33,108 over 3 years, but see note 22.

The ESRC contribution to the cost of a 3 year collaborative studentship will be capped at £9,036 pa, i.e. £27,108 over 3 years.

The total cost of a 3 year collaborative studentship project is therefore anticipated to be £60,216

This total cost figure includes a contribution to the running costs of the GWR project of £2,000 p.a., which will be recovered from the External partner’s contribution via the host University. Therefore the value of a collaborative studentship award to the host University is £18,072 pa or a total of £54,216 over 3 years,

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which is identical to the value of a directly awarded SWDTC studentship.

For 3+1 projects i.e. 4 year studentships the annual contributions required are the same, but the overall totals increase proportionately to £44,144 and £36,144 respectively.

Higher contributions may required from External Partners for projects in the Economics pathway, please contact GWR for details.If the anticipated overall cost of the studentship project is significantly above the standard £60,216 figure, please contact GWR to discuss.

22. Not-for-Profit organisations, Public Sector Research Establishments, such as the NHS Trusts, charities, cultural bodies, museums, archives, NGOs and social enterprises will all be eligible as External Partners, and applications involving the above partners will be particularly welcome. In order to encourage the participation of these types of organisations the SWDTC University partner(s) may wish to contribute financially to the project by agreeing to replace a proportion of the External Partner’s contribution. This will be allowed up to a ceiling of £6,000pa. Thus the minimum contribution from External Partner to a project is £5,036 pa, with the SWDTC University partner(s) agreeing to provide funds to subsidise the remaining £6,000pa of the External Partners contribution.

23. Any individual External Partner will not normally be able to undertake more than 6 studentships concurrently without special dispensation from the SWDTC.

24. The Studentships awarded contain a University fee element of £3,732, a fixed annual stipend to the student of £13,590 (£16,590 in economics) and an annual travel grant to the student of £750. The registering Department will be expected to cover all costs of accommodation and other overheads, and any fees above the £3,732 standard ESRC scheme allowance.

25. The full cost of some PhD programmes may be higher than the studentship’s value because of the costs of materials, extra travel and other research project costs. You may wish to use University funds or funds from other organisations such as research councils, charities or HEFCE to contribute towards the total cost of the studentship project over and above the GWR SWDTC grant, and this should be specified in the application under ”additional contribution”.

26. It is possible to have more than one External Partner in a project, and the partners do not need to contribute equal amounts. Consortia of SMEs or NGOs for example may be involved in supporting a studentship, each contributing part of the required finance.

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Application process

27. GWR will operate a 2 stage application process, with Outline Applications being subsequently developed into Full Applications.

28. Outline Applications may be submitted at anytime by eMail using the Outline Application form downloadable as a Word document from the GWR website. GWR will then discuss the proposed research with the supervisor, seek to identify a suitable External Partner, and then facilitate discussions with potential partners.

29. Once a suitable External Partner has been identified, a detailed research proposal will be developed by the lead academic in collaboration with the External Partner for submission as a Full Studentship Application using the GWR on-line application system, which will remain open until at least December 31st 2011, for studentships starting in 2012.

Submitting a Full Application

30. The Full Studentship application form is designed to provide all the information needed for a rigorous peer review process. The guidelines that follow will help you prepare your full application for that process.

31. Overall, you are advised to focus your application and to provide sufficient evidence to enable a considered judgement as to the quality of your proposal, its significance and its feasibility to be reached.

32. Full Applications for studentships to begin in 2012 may be submitted at any time from the opening of the on-line system in early October 2011 until the close of the call which will be not earlier than December 31st 2011 and applications will be assessed jointly by GWR and by Pathway Panels consisting of the Pathway Leads.

Method of submission

33. Outline Applications may be submitted at any time, by eMail using the downloadable form on the GWR web site. If you already have an External Partner who has agreed to support the research, please still submit an outline application form giving your details and project title etc and then proceed directly to the full application.

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34. Full applications may be ONLY be submitted on-line through the Great Western Research Website. Applications submitted by any other means will not be considered.

35. The website application process provides an opportunity for the applicant to begin an application, save it, and come back to it a later date. When first saved, the lead applicant/supervisor will receive an email with a password to enable them to access saved applications for future completion.

36. It is imperative that the lead applicant/supervisor inputs one valid email address on the application form. This email address is the primary route for contact between the applicant and the Great Western Research application process. Similarly, please only use numbers for telephone details.

37. Once an application form is finally submitted, you will not be able to retrieve or print its contents. ‘Submission’ means you are willing for GWR to log the application as complete and begin assessment . If, after submission, you need a printed copy or wish to withdraw the application, please contact the program manager p.s.hudson@exeter.ac.uk

38. Certain questions on the application form have a word limit. Please keep to this word limit, to avoid having part of your text ignored.

39. You will not be able to submit your Full Application without all compulsory fields completed, though you can still of course save the application for completion at a later date.

General guidance

Host institution

40. Each collaborative Studentship application must have a principal academic applicant based in the SWDTC and for the interdisciplinary pathways a second academic partner based in a second SWDTC institution is required.

41. Payment of the grant to successful projects will be made directly to the lead institution.

The research project

42. Great Western Research and the SWDTC ‘s primary concern is to ensure that these collaborative research Studentships address clearly articulated research questions or problems which are set in a clear research context.

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43. The application must therefore clearly define the research questions or problems that will be addressed during the award period. It must also define its objectives in terms of seeking to enhance knowledge and understanding relating to the questions or problems to be addressed.

44. There is an expectation that the External Partner will be actively involved in the research project definition, and regularly take part in meetings with academic supervisors and provide support to the researchers. External Partners will also need to contribute to a plan for how the knowledge resulting from the research will be exploited and explain the benefit that the research it will bring to them.

45. The application must also specify why it is important that these particular questions or problems should be addressed now and what particular contribution this project will make to knowledge in the area, placing the project in context of the existing work in the area

46. The lead academic supervisor takes responsibility for the intellectual leadership of the research. They will be the person to whom we shall address all correspondence.

Submitting more than one application from a Lead Supervisor

47. If, as a Lead Supervisor, you submit more than one application, then you must demonstrate/justify that you and your department will be able to carry out all of the projects and supervision for which you are applying.

Question-specific guidance

Please use this section in conjunction with the online application form. Questions identified with an * must be answered. Failure to provide an answer to these gateway questions will result in the application being deemed ineligible for assessment :

*Project Title (max 50 words) – Please enter a full title

*Lead Institution & Department – Please state where and in which department the Student will be registered.

* 2nd institution – All applications for the Interdisciplinary Pathways studentships must be offered as an academic collaboration, with joint supervision by at least two SWDTC partners, at different institutions.

* Lead External Partner - All studentships must include a lead External non-University partner. See Eligibility and Commitments above for details of eligible organisations, enter the full name and address including post code of the contact person.

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* Nature of External Partners activities – Please enter a brief description. For example Charity, NGO, NHS trust, shoe manufacturer, construction industry, etc.

Charity, public sector organisations, and social enterprises are all welcome as External Partners as are Businesses and SMEs (small to medium enterprises incorporating micro enterprises) which are classed as organisations with less than 250 employees and which have an annual turnover not exceeding 50 million euro, and/or an annual balance sheet total not exceeding 43 million euro.

A Significant Regional Employer (SRE) is defined as an organisation that employs more than 250 people in the region and has an annual turnover exceeding 50 million euro.

* Has a commitment in principle been obtained and forwarded from the external funding partners? - In order to ensure proposals are quickly and effectively assessed, a commitment in principle, subject to contract, from the External Partner(s) is necessary. This should take the form of a letter from a person with financial authority at the External Partner(s) supporting the aims and objectives of the research, and refer to their degree of involvement both intellectually and financially subject to contract, for the proposed project (template available on the GWR website). Please arrange for this information to be forwarded to Paul Hudson, Great Western Research, Kay Building, North Park Rd, University of Exeter, EX4 4QF (or p.s.hudson@ex.ac.uk ) when you submit your Full application.

Supporting External partners – Details as above –

Financial Arrangements :

1) Total anticipated cost of Studentship – 3 year Studentship awards under this scheme have an anticipated total cost of £60,216. We recognise however that the anticipated final cost of some PhD programmes may be higher than this because of the costs of special materials, substantial travel and other research project costs, please enter the total anticipated cost of the studentship project here, see note 21 above.

NOTE: You should enter numbers without any currency or separator symbols. You may enter 50000 or 50000.00.The only symbols allowed are digits and decimal separator.

2) Total Contribution from Lead External Partner (£) - The External funding Partner(s) must commit overall to a contribution which together with any agreed SWDTC University partner funding equals at least £34,410 for a 3 year project, see note 22 above.

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3) Total contribution from any supporting External Partners (£) - Others External Partners may wish to contribute funds and this should be entered here.

4) Total contribution from External Partners (£) (automatic).

5) Contribution from SWDTC Partner(s) (£) please enter any funding agreed by the SWDTC University partners, ie Host & or Second University in replacement of normal External Partner funding, see note 22 above .

6) Any Addition contribution to project costs from other sources (£) – any additional funding secured for the project, see note 25 above.

7) Total contribution from non ESRC sources (£) – (automatic), but must be equal to at least £33,108 for a 3 year project.

8) Total therefore required from the ESRC-SWDTC studentship award (£) – ie (Total anticipated cost of Studentship) – (4+5+6). This grant funding from the ESRC-SWDTC will be capped at £27,108 for a 3 year project.

* Proposed start and end dates – The studentships provide support for 3 years or 4 years if a 3+1 program is envisaged and it is expected that they will be cited in the RAE/REF. You may use the calendar buttons provided.

* Project description (up to 1000 words) - Enter a description of the project’s scope and objectives. This should be no more than 1000 words. You should aim to outline your objectives as concisely and clearly as possible, and illustrate what specific targets or outcomes the research will achieve by the end of the research programme. The work to be undertaken should be fully explained, as failure to provide adequate detail may prejudice the application.* Abstract (up to 250 words) - The final decision making body will include experts and individuals who have a broad knowledge and understanding of the subject areas and disciplines, but do not necessarily have a detailed knowledge of your particular specialism. Moreover, Great Western Research may wish to publicise successful applications outside of academic networks. Please ensure you include here a brief description of ‘how the research would be promoted’, which would help assessment by non-specialists.* Alignment with the ESRC and SWDTC priorities (up to 250 words) – Please describe how the proposed research fits with the priorities of the funding council, ESRC and the SWDTC.

* Nature of the proposed collaboration, describing clearly proposed working relationships (up to 500 words) - Describe clearly the working relationships that are envisaged between all the members of the project team. How will the collaboration be managed? The collaborating institution(s) should be clear about the contribution to the research they can make, and that it is a mutually beneficial relationship.

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There is an opportunity later to describe administrative arrangements for supervision.

* Is the research linked to other ESCRC-SWDTC studentship applications? – Please indicate whether the work is linked to other Studentship applications, past or current and outline if and how the research projects are dependent on each other.

* Lead supervisor - Enter the name of the lead academic supervisor for the studentship and ensure contact details are correctly completed. Please include only one contact email, telephone number and address. Please tick one of the three boxes to indicate experience of working with businesses and other external funding partners.Please note that the Lead supervisor’s contractual arrangement with host the University must extend beyond the end date of the studentship.

* Relevant Academic Experience - Enter brief summary details of the supervisor’s academic background in this pathway area. This can be copied and pasted from a CV or other document where appropriate.

* 2nd and other supervisors - For the Interdisciplinary Pathways enter the name of the academic who will be supervising the studentship at the second SWDTC partner institution, and indicate their experience of working with business and other external funding partners. The same eligibility criteria outlined for the lead supervisor apply to 2nd and other supervisors. * Arrangements for Supervision - Proposal for the Interdisciplinary Pathways must include a description of how the joint academic supervision will work. This may include details of how the external partner will be involved in supervision, reporting frequency, meeting frequency, etc.

* Benefit to the External Partner - The application must explain what the External Partner expects to gain from its investment in the proposed research project. It should describe the expected outputs from the research project, including intermediate outputs which might arise before the research project is complete. These might be in the form of

new systems or techniques changes to systems or processes strengthening the knowledge base of the business/organisation supporting further investment in the company contributing to the development of new/improved goods and

services

* Has the External Partner worked with the HEI sector previously -An important overall objective of the GWR initiative as a whole is to

increase the number of new collaborations between External funding Partners and Businesses and the region’s Universities. Please use this opportunity to briefly outline the extent of previous collaborations between the partner organisation and the HE sector.

*What potential is there for future research collaboration - If this research project is an intermediate step in a more substantial research

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and development initiative, this should be explained and the eventual output described briefly. The potential of attracting further research funding based on the work proposed should be clearly articulated

The application should also describe the longer term benefits to the External Partner which might be in the form of improved efficiency, new production processes, increased sales/turnover; different ways of doing things, and new, higher value added products or services. There should be some indication of the expected timescale for impacts where possible.

Resubmission of an application

48. Great Western Research’s policy on resubmitting applications is as follows: if your application is not recommended for funding by the Pathway Panel, but is considered inherently fundable, the Pathway Panel Lead may provide feedback and recommend revision and immediate re-submission in the current round. If the proposal has potential but requires substantial revision they may recommend re-submission in the following round. If your application was not funded, and you were discouraged from re-submitting application, the application is unlikely to be funded if re-submitted .

49. The resubmission policy is designed to allow projects which are

inherently worthy of funding a fair chance of success. There is, however, no guarantee that a resubmitted application will be successful second time around.

Confidentiality and use of the information supplied

50. By submitting an application you are giving your permission to Great Western Research to process and disclose the data you provide, including processing of the personal data, as described in Appendix 1 below.

Application deadlines

51. The call for Full Studentship Applications to begin in 2012 will close not earlier than December 31st, and the electronic submission system will not be available after this time.

52. Applications will be assessed by GWR and expert Pathway Leads. Final funding decisions will be approved the joint GWR-AAB Research Board and decisions are expected to be available on applications within 4 weeks of the close of the application system.

53. If successful, you will be expected to sign your contractual agreement with the External Partner within 3 months of approval being received from Great Western Research, and you will be

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expected to recruit a student through the normal SWDTC processes to begin their registration before the end of 2012.

Application, Assessment and Award Process

Schematic Application and Assessment Process

Please refer to the flow chart below :

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Supervisors submit outline applications, with suggestions for

potential external partners, to GWR

GWR discuss with supervisors, and seek to match suitable external partner(s) to outline projects

Suitable External Partner identified

Discussions between supervisor and External Partner take place, facilitated by GWR

Supervisors(s) informed

If agreed in principle to go ahead, a detailed full project proposal is developed and submitted online to GWR

Scores aggregated and applications considered in detail by Pathway Leads Panel . Pathway Leads’ rankings &

recommendations for funding sent to GWR-AAB Research Board for approval.

Pathway Leads score applications individually according to quality of

research and collaboration.

If funding is oversubscribed, joint GWR-AAB Research Board meeting to

review applications & prioritise

Projects approved, and supervisors informed of status by GWR Director

Approved projects advertise to recruit students

Project not approved

GWR Director scores applications according to

involvement of and benefits to the External Partner.

NO Suitable External Partner identified

Student Selected and approved by SWDTC

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54. Great Western Research is committed to assessment by a process of expert peer review. The application and assessment process is summarised in the flowchart above

55. Submitted Full Project Applications are considered individually by the Director of Great Western Research to determine basic eligibility. If eligible, the application is then considered by the expert Pathway Leads. If ineligible, the Director contacts the applicant to try to resolve eligibility issues.

56. The Pathway Leads will then determine their individual scores for each application, ranking applications in order of research excellence and collaboration.

57. Simultaneously, the GWR Director will score applications according to their potential contribution to the economy and benefits to the External Partner.

58. These scores are then combined to provide an overall application score to guide subsequent discussions by the Pathway Leads.

59. Applications and their associated scores are then forwarded to the Pathway Leads to provide a framework for discussion at a Pathway Lead meeting, which may be held virtually.

60. This Pathway Lead meeting agrees on the ranking of proposals, and makes funding recommendations to the GWR-AAB Research Board.

61. The GWR-AAB Research Board then considers all applications, prioritising if necessary, and makes final funding decisions.

Assessment criteria

62. In assessing eligible applications Pathway Leads and GWR will assess the proposal on the following criteria :

Whether the proposal meets the overall aims of the studentship scheme

The academic quality of the proposed research and its timeliness

Arrangements for collaboration, supervision, and external partner involvement.

The extent to which the proposed activities will generate genuine collaboration and new high quality cross-institutional research projects

The significance and importance of the project, and of the contribution it will make, to the External Partner

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The potential for further research funding based on the work proposed

Award announcement

63. If you are successful, you will receive a letter offering you an award, and informing you of the overall amount for the duration of the award.

64. If you are unsuccessful, you will receive a letter advising that you have not been offered an award.

Monitoring

65. As part of the terms and conditions of the continuation of a GWR Research award, you will be required to submit a satisfactory annual progress report and a final end-of-award report for consideration by GWR and the SWDTC no later than three months after the end of the award period.

66. While it is the responsibility of the Lead Institution and Lead Supervisor to manage the academic progress of the student , GWR reserves the right to call for periodic information on progress or to visit the Student. The lead Supervisor and Student will also be expected to attend meetings and events to exchange information and ideas with others undertaking research in the same or similar fields, for example at themed research meeting and the GWR Annual Research Symposium .

Complaints procedure

67. For details on our complaints procedure, please refer to the document Great Western Research Complaints Procedure which can be found on our website at www.greatwesternresearch.ac.uk

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Appendix 1: Data Protection

Data Protection Regulations

Great Western Research will use information provided on the Studentship application form and subsequent annual reports for processing the proposal, the award of any consequential grant, and for the payment, maintenance and review of the grant. This may include:

Registration of proposals; Operation of grants processing and management information

systems; Preparation of material for use by peer review panels; Administration, investigation and review of grant applications; Statistical analysis in relation to the evaluation of research and the

study of trends Press and media campaigns

Details of awards will also be made available on the Great Western Research web site and other publicly available databases, and in reports, documents and mailing lists.

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